CFA一级知识点完全总结（PDF版共92页）.pdfVIP

CFA一级知识点总结 Ethics 部分 Objective of codes and standard：永远是为了maintain public trust in 1. Financial market 2. Investment profession 6 个code of ethics 1. Code 1—ethics and pertinent d persons a. 2. Code 2primacy of client’s interest a. Integrity with investment profession b. 客户利益高于自身利益 3. Code 3reasonable and independent a. 必须注意reasonable care b. 必须exercise independent professional judgment必须独立判断！ 4. Code 4ethical culture in the profession a. 不但自己要 practice， 而且要鼓励别人 practice—不仅仅是自己一个人去做， 要所有人共同去做 5. Code 5ethnical culture in the capital market! a. 促进整个 capital market 的 integrity，推广其相关法规增强公众对资本市 场的trust ！ b. Capital market 是基于 i. Fairly pricing of risky assets ； ii. Investors ‘confidence 6. 有关competence—能力competence 7 个standard of professional conduct 1. Standard 1professionalismknowledge of law a. 不需要成为法律专家，但是必须understand 和comply with applicable law ； b. 当两个law 发生conflict，则要遵守更加严格的法律！ c. Knowinglyknow or should know d. 必须attempt to stop the violation， 如果不能stop， then must dissociate from the violation ！必须从其中分离出去! i. Remove name from the written report; ii. Ask for a different assignment e. 并不要求向有关部门report ！（do not require ） f. 向CFA 进行书面报告report--encouraged to so 2. Standard 1 professionalismintegrity of capital market a. Bias from client or other groups—listed company，controlling shareholder ！ b. Bias from sell side analyst c. Buyer side client— d. Issuer paid report只能接受flat fee for their work e. 3. Standard 1 professionalismmisinterpretation—不能误导客户， 不能剽窃其他人 的研究成果 4. Standard 1 professiona